Step 1 of 7: Identity
Sarbanes-Oxley (SOX)
Deficiencies, fraud risk & disclosure linkThe "SOX Disclosure Readiness Link" workflow has 7 steps, in this order: Step 1 Identity, Step 2 Link, Step 3 Condition, Step 4 Determination, Step 5 Clocks, Step 6 Reporting, Step 7 Audit. Steps must be completed in order; each unlocks the next.
Sarbanes-Oxley Act Sections 302/404/906; PCAOB AS 2201; COSO 2013
7 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 7
ScreenSarbanes-Oxley (SOX)step 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Domain entity ID (required)
entityIdThe organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.
Step 2 of 7
ScreenSarbanes-Oxley (SOX)step 2
Complete the Link fields. Each value is validated against the schema before the next step unlocks.
Origin (required)
originEnter origin.
ICFR deficiencyoptional
deficiencyIdEnter icfr deficiency.
Incidentoptional
incidentIdEnter incident.
Policyoptional
policyId§4.6 — a policy references the controls evidencing it, and control outcomes flow back as policy evidence.
External auditor PBC request referenceoptional
pbcRequestIdEnter external auditor pbc request reference.
Step 3 of 7
ScreenSarbanes-Oxley (SOX)step 3
Complete the Condition fields. Each value is validated against the schema before the next step unlocks.
Severityoptional
severityEnter severity.
Affected controloptional
affectedControlIdEnter affected control.
Potential misstatementoptional
potentialMisstatementEnter potential misstatement.
Remediation statusoptional
remediationStatusSummaryEnter remediation status.
Step 4 of 7
ScreenSarbanes-Oxley (SOX)step 4
Complete the Determination fields. Each value is validated against the schema before the next step unlocks.
Determination made byoptional
disclosureDeterminedByA named person. The platform surfaces and prompts; it does not conclude.
Determination basisoptional
disclosureDeterminationBasisEnter determination basis.
Determined onoptional
determinedOnEnter determined on.
Step 5 of 7
ScreenSarbanes-Oxley (SOX)step 5
Complete the Clocks fields. Each value is validated against the schema before the next step unlocks.
Item 1.05 four-business-day deadlineoptional
item105DeadlineOnEnter item 1.05 four-business-day deadline.
ICFR remediation commitmentoptional
icfrRemediationCommitmentOnEnter icfr remediation commitment.
Step 6 of 7
ScreenSarbanes-Oxley (SOX)step 6
Complete the Reporting fields. Each value is validated against the schema before the next step unlocks.
Surfaces drawing on this record (required)
reportedOnSurfacesEnter surfaces drawing on this record.
Step 7 of 7
ScreenSarbanes-Oxley (SOX)step 7
No manual input is captured here: this step is completed from the preceding sections or by the platform.
No manual inputs in this step.
Continue with the next guide in this framework's table of contents.
The "SOX Deficiency Evaluation" workflow has 7 steps, in this order: Step 1 Identity, Step 2 Classification, Step 3 Severity, Step 4 Mitigation, Step 5 Aggregation, Step 6 Narrative, Step 7 Audit. Steps must be completed in order; each unlocks the next.
Read guide Deficiencies, fraud risk & disclosure linkThe "SOX Fraud Risk Assessment" workflow has 8 steps, in this order: Step 1 Identity, Step 2 Classification, Step 3 Triangle, Step 4 Controls, Step 5 Reassessment, Step 6 Incident, Step 7 History, Step 8 Audit. Steps must be completed in order; each unlocks the next.
Read guide Program scope & control inventoryThe "SOX ICFR Scope" workflow has 7 steps, in this order: Step 1 Identity, Step 2 Materiality, Step 3 Scope, Step 4 Exclusions, Step 5 Changes, Step 6 Framework, Step 7 Audit. Steps must be completed in order; each unlocks the next.
Read guide